RIA News

Displaying 36697 results
PRACTICE MANAGEMENT MAR 09, 2017
Cetera adds $1B bank wealth platform

Honolulu-based American Savings Banks has 51 branches throughout Hawaii

By Bloomberg
RIA NEWS MAR 09, 2017
Cybersecurity, markets and fee pressure top RIA concerns

Cybersecurity and the possibility of a market correction are at the top of the worry list for executives of investment advisory firms.

By Bloomberg
RETIREMENT PLANNING MAR 09, 2017
Morgan Stanley debuts fiduciary product for small 401(k) plans, with eye toward DOL rule

The wirehouse offers a way for non-fiduciary brokers working with 401(k) plans to continue working with clients in the small-plan market

By Greg Iacurci
RIA NEWS MAR 08, 2017
Two of Royal Alliance's largest OSJs merge

By InvestmentNews
RETIREMENT PLANNING MAR 08, 2017
401(k) advisers, take heed of guidance on hardship withdrawals for clients

By Marcia S. Wagner
RETIREMENT PLANNING MAR 08, 2017
Brokers-dealers move to trim fund offerings as they adjust to DOL rule

Small fund companies may have to pivot, by embracing a niche specialization or redirecting sales forces toward new distribution channels.

By Greg Iacurci
INDEPENDENT BROKER DEALERS MAR 08, 2017
Jim Putnam returns to LPL as chairman of the board

Mr. Putnam was a key architect in the early days of the firm, overseeing its tremendous growth.

By Bruce Kelly
RETIREMENT PLANNING MAR 08, 2017
Study finds most retirees want guaranteed lifetime income

Consumers want products that offer peace of mind and make it easier to manage a budget in retirement.

By Mary Beth Franklin
RIA NEWS MAR 07, 2017
J.P. Morgan faces second suit alleging self-dealing in 401(k) plan

The lawsuit alleges that half of the 401(k) plan's investment options were affiliated with J.P. Morgan.

By Robert Steyer
REGULATION AND LEGISLATION MAR 07, 2017
Elected officials held to fiduciary standard

Just as advisers are obligated to fulfill fiduciary duties, elected officials are similarly obligated when it comes to public policy.

By Blaine F. Aikin
RIA NEWS MAR 07, 2017
Con artist gets 15 months for defrauding broker-dealers

Three-year scheme by Massachusetts man based on bogus bank transfers.

By InvestmentNews
RETIREMENT PLANNING MAR 07, 2017
Advisers embrace elimination of Obamacare taxes, question GOP replacement plan

The House Republican approach kills investment-income levies, but the breadth of coverage could shrink.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAR 07, 2017
Fidelity, Empower and T. Rowe take three different approaches to the DOL fiduciary rule

Some retirement plan advisers see providers' compliance moves as potential competition.

By Greg Iacurci
WOMEN ADVISOR COMMUNITY MAR 07, 2017
Lebenthal sells major stake to South Street Securities

Treasury market brokerage buys asset management, family office units outright.

By InvestmentNews
FINTECH MAR 07, 2017
Impact investing portfolios that come with a performance guarantee

Three new portfolios from Motif Investing promise to refund a monthly subscription fee for underperformance

By Liz Skinner
RIA NEWS MAR 06, 2017
Fidelity puts David Canter in charge of RIA segment

Replaces Bob Oros, who departed in January.

By Jeff Benjamin
RIA NEWS MAR 06, 2017
'Green bond' ETF launched by VanEck

Fund is collection of debt used to finance pro-environment projects.

By InvestmentNews
RIA NEWS MAR 06, 2017
Lebenthal family seeking to sell firm

Reborn once before, it's beset with debt problems, reports The Wall Street Journal.

By InvestmentNews
RIA NEWS MAR 06, 2017
5 investment trends behind growth in sustainable and impact investing

Many investors want to make sure the enterprises in which they invest don't fund practices that run counter to their personal values.

By Bloomberg
RETIREMENT PLANNING MAR 06, 2017
Senate moves to kill DOL's state, city auto-IRA rules

Resolutions to overturn the rules only require a simple majority to pass, and aren't subject to a Senate filibuster

By Greg Iacurci